Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined LifeMark Securities Corp. on May 31, 2017. Investors and SEC have raised concerns regarding Moretz’s conduct, leading to allegations of misrepresentation, unsuitable recommendations, and negligence. Continue reading to learn more about the disclosures. SEC […]

Investors possibly experienced losses because of securities broker Thomas Brian Swan [CRD: 1698430, Westlake Village, California], and Securities and Exchange Commission (SEC) brought a complaint against him, according to publicly available disclosures. Evidently, Thomas Swan has worked for Western International Securities Inc. since 2008 as a securities broker and since 2014 as a financial advisor. […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: DH HILL SECURITIES, LLLP, and a former registered representative (Respondents). The Claimants are a married couple living in Nebraska.  The husband is retired and his wife is currently employed. The lawsuit states that the Claimants became clients of DH HILL […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Craig Lee Carson (also known as Chance Carson) [CRD: 41892, Colorado Springs, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Craig Carson worked for Intervest International Equities Corporation from December 2, 2003, to December […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: MOLONEY SECURITIES CO., INC. and their registered representative, EDWARD H PRINCE. (Respondents) The Claimants, a married couple, reside in Kansas.  They have been clients of EDWARD H PRINCE since 2012. The lawsuit alleges that the Respondents knew the Claimant’s had […]

Soreide Law Group, based in Pompano Beach, Florida, is currently investigating broker, DAVID LESLIE ARLEIN (DAVID L ARLEIN), formerly with Cabot Lodge Securities, LLC of Boca Raton, Florida. Arlein was with Cabot Lodge Securities from 03/12/2014 to 10/26/2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DAVID L ARLEIN, has been registered […]

Soreide Law Group is reviewing potential investor claims on behalf of those who may have invested with securities broker Marion Leonberger (also known as Marion Leopold Leonberger Jr. and as Sonny Leonberger (CRD#: 1083568, Louisville, Kentucky). Notably, FINRA BrokerCheck shows three investor disputes on the record of the securities broker. Evidently, he worked for American […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: AMERICAN TRUST INVESTMENT SERVICES, INC. (Respondent) The Claimant, a divorced mother of three in her 60s, is living in Illinois. On or about 2015, the Claimant attended a presentation of formerly registered representative, DAVID RICHARD GEAKE.  Geake transferred to AMERICAN […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jason Nicholas Slezak (CRD: 2423323, Antioch, Illinois). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Slezak denies the allegations of misconduct Read on to learn […]